CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations Other enforcement

CFTC release 8034-19 · 2019-10-01 · view on cftc.gov ↗

Key facts

Release number
8034-19
Release date
2019-10-01
Type
Other enforcement
Primary source
https://www.cftc.gov/PressRoom/PressReleases/8034-19

About CFTC enforcement

The CFTC charges market participants under the Commodity Exchange Act for spoofing, manipulation, fraud, wash trades, registration violations, and commodity-pool-operator misconduct. Most actions settle with restitution + civil money penalty + a bar/suspension. Crypto-asset cases have been a major share since 2019.